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Karen B Sullivan

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Fairfield, CT

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2009-12-17
CT RA APPROVED 2009-12-03
  • TX RA
    APPROVED
    Since 2009-12-17
  • CT RA
    APPROVED
    Since 2009-12-03

Branch Locations

1499 Post Rd, Fairfield, CT 06824 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch Fairfield CT 12/2007 Present
Bank Of America, N.A. Fairfield CT 06/2011 Present
  • 12/2007 → Present
    Merrill Lynch
    Fairfield, CT
  • 06/2011 → Present
    Bank Of America, N.A.
    Fairfield, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-11-20
S63 Uniform Securities Agent State Law Examination 1998-10-28
  • S66 Uniform Combined State Law Examination
    2009-11-20
  • S63 Uniform Securities Agent State Law Examination
    1998-10-28
Other Names
  • Karen B Sullivan
  • Karen Bumpus Sullivan
  • Karen Marie Bumpus
  • Karen M Sullivan

View on SEC IAPD

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HERBERT J. SIMS CAPITAL MANAGEMENT, INC. · FAIRFIELD, CT
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